3235-AM86 202210 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Rule 10b5-1 and Insider Trading

The Division is considering recommending that the Commission adopt amendments to address concerns about the use of the affirmative defense provisions of Exchange Act Rule 10b5-1.  The Commission proposed amendments that would add new conditions to the availability of an affirmative defense under an Exchange Act rule that are designed to address concerns about abuse of the rule to opportunistically trade securities on the basis of material nonpublic information in ways that harm investors and undermine the integrity of the securities markets.  

]]> Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Undetermined No 17 CFR 229.402 17 CFR 229.408 17 CFR 232.405 17 CFR 240.10b5-1 17 CFR 240.14a-101 17 CFR 240.14c-101 17 CFR 240.16a-3 17 CFR 249.104 17 CFR 249.105 17 CFR 249.220f 17 CFR 249.308a 17 CFR 249.310 ... 15 U.S.C 77c(b) 15 U.S.C. 77f 15 U.S.C. 77g 15 U.S.C. 77j 15 U.S.C. 77q 15 U.S.C. 77s(a) 15 U.S.C. 77z-3 15 U.S.C. 78c 15 U.S.C. 78i 15 U.S.C. 78j 15 U.S.C. 78l 15 U.S.C. 78m 15 U.S.C. 78n 15 U.S.C. 78o(d) 15 U.S.C. 78t-1 15 U.S.C. 78u-1 15 U.S.C. 78w(a) 15 U.S.C. 78mm 15 U.S.C. 80a-8 15 U.S.C. 80a-20(a) 15 U.S.C. 80a-24(a) 15 U.S.C. 80a-29 15 U.S.C. 80a-37 15 U.S.C. 7264 ... No NPRM 02/15/2022 87 FR 8686 NPRM Comment Period End 04/01/2022 Final Action 04/00/2023 Undetermined None No No No Noel Harrison Sean Division of Corporation Finance 3235 Securities and Exchange Commission SEC 202 551-3249 harrisons@sec.gov 100 F Street NE, Washington DC 20549